Home > Insider Trading > Filing (0001387131-20-006914)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1457612	Genocea Biosciences Inc.	GNCA	Pharmaceutical Preparations (2834)	X0

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1131399	Plc Glaxosmithkline	980 Great West Road Brentford Middlesex X0 TW8 9GS		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-07-24	1,260,504	$2.25	4,626,389	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant	Acquisiton	2020-07-24	1,260,504	$0.13	0	$2.25

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,260,504		2024-07-24	No	4	P	Indirect

Footnotes

S.R. One, Limited acquired 1,260,504 shares of Common Stock of Genocea Biosciences, Inc (the "Issuer") and warrants exercisable for up to up to 1,260,504 shares of Common Stock (the "Warrants"), subject to anti-dilution adjustments in a private placement by the Issuer, which closed on July 24, 2020.
The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
The Warrants are exercisable at any time prior to 5:00 pm New York City time on the expiration date, subject to a restriction on exercise if the holder, together with its attribution parties, would, after giving effect to the exercise, beneficially own more 9.99% of the Issuer's then outstanding Common Stock.